William K. Stewart
Professional summary
William Kevin Stewart was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, William had worked at 4 firms, which includes ROBERT THOMAS SECURITIES INC, INVEST FINANCIAL CORPORATION, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, FIRST AFFILIATED SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 1995 - September 23, 1997
ROBERT THOMAS SECURITIES, INC
July 26, 1994 - March 1, 1995
INVEST FINANCIAL CORPORATION
May 31, 1994 - August 26, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 7, 1988 - August 31, 1989
ROBERT THOMAS SECURITIES, INC
December 18, 1984 - April 9, 1988
FIRST AFFILIATED SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ROBERT THOMAS SECURITIES, INC
CRD#: 10147 / SEC#: , 8-26680
Contact information
Documents
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